SBIR / STTR SBIR/STTR Overview Charles Cleland National Program Leader USDA New Orleans November 7, 2011

SBIR / STTRSBIR / STTR

SBIR/STTR OverviewCharles Cleland

National Program Leader USDA

New OrleansNovember 7, 2011


SBIR/STTR Program Mission

Supporting scientific excellence and technological innovation through the

investment of Federal research funds in critical American priorities to build a

strong national economy

one small business at a time


SBIR/STTR ProgramPhase I

• Feasibility Study• SBIR (6-month and $150K); STTR (12 months and $100K)

Phase II• Full Research Study for Two Years and $1.5M for SBIR

and $750K for STTRPhase III

• Commercialization Stage• Use of non-SBIR/STTR Funds


SBIR Program Goals• Stimulate technological innovation• Use small business to meet Federal R&D needs• Foster and encourage participation by

minorities and disadvantaged persons in technological innovation

• Increase private sector commercialization innovations derived from Federal R&D


SBIR Program • All Federal Agencies with more than $100M in extramural R&D must

set aside 2.5% for an SBIR program• Only US-owned, for-profit small business firms with fewer than 500

employees that are at least 51% owned by individuals and independently operated are eligible

• PI’s primary employment must be with small business at time of award

• Over $2B available government-wide• Awards are not a loan – no repayment is required• In most cases intellectual property rights are retained by the small

business


STTR Program Goals• Stimulate and foster scientific and

technological innovation through cooperative research and development carried out between small business firm and research institutions• Foster technology transfer between small

business firm and research institutions


STTR Program • Application must be submitted by for-profit small business• Formal cooperative R&D effort with minimum of 40% to

small business and minimum of 30% to research institution• U.S. research institution can be a college or university,

some other non-profit research organization, or a Federal R&D center

• PI can be employed by small business or research institution

• Intellectual property agreement is required that deals with allocation of rights in IP and rights to carry out follow-on R&D and commercialization


SBIR/STTR Participating Agencies•DOD SBIR/STTR•HHS (NIH) SBIR/STTR•NASA SBIR/STTR•DOE SBIR/STTR•NSF SBIR/STTR•DHS SBIR•USDA SBIR•DOC (NOAA & NIST) SBIR•DOT SBIR•EPA SBIR•ED SBIR


Standard Phase I Application Process

• Agencies release solicitations and describe research topics

• Small business firms prepare short proposals. Unsolicited proposals are not accepted

• Agencies evaluate proposals based on technical merit, firm’s qualifications, and commercial potential/societal benefit

• Agencies make Phase I awards


Agency SBIR Differences• You cannot tell an agencies interests by its name• Number and timing of solicitations• R&D topic areas• Dollar amount of awards (Phase I and II)• Proposal preparation instructions• Financial details (e.g. indirect cost rates, gap funding)• Receipt dates• Proposal review process• Proposal success rates• Type of award (grant or contract)


Agency SBIR DifferencesContracting Agencies

• Agency establishes plans, protocols, requirements

• Highly focused topics• Procurement mechanism

for DOD and NASA

DOD, NASA, HHS(NIH), DHS, DOT, DOC, EPA, ED

Granting Agencies• Investigator-initiated

approach• Less specific topics• Assistance mechanism• More flexibility

HHS(NIH), NSF, DOE, USDA, ED


Important Facts to Remember• Eligibility is determined at time of award• No appendices allowed in Phase I• The PI is not required to have a Ph.D or M.D.• The PI is required to have expertise to oversee

project scientifically and technically• Applications may be submitted to different

agencies for similar work• Awards may not be accepted from different

agencies for duplicative projects


Advice from Awardees• Don’t judge an agency’s interests by its name• Understand agency’s missions and needs• Get to know your agency Program Manager• Read solicitation carefully and follow instructions• Don’t depend solely on SBIR funding• Have an outcome – know where you are going• Win or lose – get and review evaluations• Don’t go it alone – use support systems• Be PERSISTENT


Thank You

Documents

SBIR / STTR SBIR/STTR Overview Charles Cleland National Program Leader USDA New Orleans November 7, 2011